Chu, Lap Yan 朱立仁
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2007-09-19 | 2013-05-21 | RO | Dealing in securities | 2013-05-21 | 2020-11-20 |
| 2 | SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Advising on futures contracts | 2004-02-20 | Rep | Asset management | 2004-02-20 | Rep | Dealing in futures contracts | 2014-09-29 | RO | Dealing in futures contracts | 2014-09-29 | 2020-11-20 |
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